Carlos E. Obermaier

OBERMAIER MANAGEMENT LLC

Miami, FL

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CRD#: 4634231

Professional summary

Carlos E Obermaier is a registered financial advisor currently at OBERMAIER MANAGEMENT LLC located in Miami, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Carlos has worked at 5 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos E Obermaier's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 20, 2011 - Present

OBERMAIER MANAGEMENT LLC

RIA

CRD#: 158764

Miami, FL

Past

October 26, 2006 - November 11, 2011

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

MIAMI, FL

Past

October 23, 2006 - November 11, 2011

HSBC SECURITIES (USA) INC.

CRD#: 19585

MIAMI, FL

Past

May 6, 2004 - January 11, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MIAMI, FL

Past

April 20, 2004 - January 11, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 16, 2003 - January 5, 2004

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

April 16, 2003 - June 17, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/20/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/28/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/28/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/14/2003

General Securities Representative Examination

Current Firm

OBERMAIER MANAGEMENT LLC

CRD#: 158764 / SEC#: 801-72747

RIA

Registered Investment Advisory firm - (5/21/2013 Terminated)

Florida

Registered Investment Advisory firm - (4/10/2013 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Miami, FL

Mailing Address

Phone number

(786) 512-8728

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 79,080,553

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carlos E. Obermaier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos E Obermaier's CRS (Customer Relationship Summary).

Certified licenses

Experience

OBERMAIER MANAGEMENT LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MUTUAL SERVICE CORPORATION

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2004

Series 63

Date: 4/28/2003

Series 7

Date: 4/14/2003

Current Firm

OBERMAIER MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OBERMAIER MANAGEMENT LLC

TRUST BUT VERIFY

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